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14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
19 Jul 2011, 7:45 am
On July 15, 2011, the Securities and Exchange Commission (“SEC”) announced that it had filed a complaint against First Capital Savings & Loan, Ltd. [read post]
3 Nov 2020, 6:17 am
Securities and Exchange Commission. [read post]
8 Jul 2013, 1:08 pm
We regularly advise public companies and their affiliates on periodic filings with the Securities and Exchange Commission, public disclosure issues, securities transaction policies, compliance with the short swing profit provisions of Section 16 of the Securities Exchange Act of 1934, compliance with Rule 144 under the Securities Act of 1933 and other similar matters. [read post]
15 Jun 2023, 4:49 am
”Further, Better Markets noted the proposal reiterates the standing position of the Commission, “expressed on numerous occasions,” that trading systems that bring together multiple buyers and sellers of cryptocurrency securities using established, non-discretionary methods meet the definition of an “exchange” under Section 3(a)(1) of the Exchange Act and Exchange Act Rule 3b-16(a) and are subject to the exchange… [read post]
19 Aug 2024, 6:06 am
The Securities and Exchange Commission today announced charges against Carl C. [read post]
15 Jun 2023, 11:44 am
The Securities and Exchange Commission has published the Spring update to its agency rule list: Agency Rule List – Spring 2023 Securities and Exchange Commission. [read post]
18 Jun 2010, 1:55 pm
Securities and Exchange Commission (SEC) announced yesterday proposed amendments to the Financial Industry Regulatory Authority rules respecting clearly erroneous transactions in exchange-listed securities. [read post]
11 Jul 2011, 8:54 pm
President Obama issued an Executive Order today designed to "streamlin[e], improv[e], and eliminat[e] regulations" of independent regulatory agencies, including the Consumer Product Safety Commission, the Federal Trade Commission, the Federal Communications Commission, and the Securities and Exchange Commission. [read post]
29 Jun 2024, 6:30 am
In another extension of the internal accounting controls provisions of the securities laws, this week the Securities and Exchange Commission (the “Commission” or “SEC”) announced a settled enforcement action with a public company victimized by a ransomware attack (the “Company”) for violations of Section 13(b)(2)(B) of the Exchange Act and Exchange Rule 13a-15(a). [read post]
29 Jun 2024, 6:30 am
In another extension of the internal accounting controls provisions of the securities laws, this week the Securities and Exchange Commission (the “Commission” or “SEC”) announced a settled enforcement action with a public company victimized by a ransomware attack (the “Company”) for violations of Section 13(b)(2)(B) of the Exchange Act and Exchange Rule 13a-15(a). [read post]
18 Feb 2025, 7:33 am
On February 12, 2025, a group of former Securities and Exchange Commission (SEC) attorneys sent a letter to the current members of the SEC and the Senate Whistleblower Protection Caucus expressing concern about reports that the SEC has changed the process to initiate a formal investigation. [read post]
21 Nov 2010, 6:37 pm
The Securities and Commission has adopted a rule that prohibits brokers from having “naked” access to alternative trading systems (ATS) or exchanges while requiring brokers with market access to put into place supervisory procedures and risk management controls to prevent market errors and other problems. [read post]
17 Aug 2018, 8:22 am
An issuer of purported secured notes backed by real estate has been sued by the Securities and Exchange Commission alleging that amid losses, it “devolved into a Ponzi scheme. [read post]
26 Dec 2020, 9:04 am
The US Securities and Exchange Commission (SEC) filed a lawsuit Tuesday against Ripple Labs Inc., a leading cryptocurrency and blockchain firm, and two of its executives. [read post]
2 Feb 2022, 9:06 pm
Not to pick on Coinbase, but under its staking arrangement it gets a 25% “commission” on any staking rewards and it indemnifies the customer for any slashing losses. [read post]
17 Oct 2017, 2:15 am
Securities and Exchange Commission with stealing more than $1 million from clients. [read post]
26 Sep 2020, 6:27 am
Securities and Exchange Commission. [read post]
17 Apr 2014, 6:13 pm
Publicly Released: Apr 17, 2014: “Although the Securities and Exchange Commission (SEC) had implemented and made progress in strengthening information security controls, weaknesses limited their effectiveness in protecting the confidentiality, integrity, and availability of a key financial system. [read post]
